DFX Intelligence

G••• C•••• M••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)45 years in industry

G••• C•••• M••••••

Advisor at O•••• W•••••• I•••

New Fairfield, CT

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:e2541897-0d3b-727e-7f34-6d93e9429297

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:21 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Mar 15, 2007 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: O•••• W•••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: May 20, 1981earliest registration or exam on IAPD
Years in industry: 45derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
O•••• W•••••• I•••	Bd affiliated wealth	Jun 14, 2024	n/a	yes	New Fairfield, CT	Current employment
S••••••••• A•••••• A•••••••• I•••	Former SEC adviser	Nov 1, 2017	Jun 14, 2024	no	NEW CITY, NY	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S••••••••• A•••••• A•••••••• I•••	O•••• W•••••• I•••	Jun 14, 2024	Jun 14, 2024	0	Bulk transfer	Ibd to ibd
N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••	S••••••••• A•••••• A•••••••• I•••	Nov 9, 2017	Nov 1, 2017

Team moves

••• Locked

Team	Left	Joined	From	Kind
29604:110518:NY:2017-10-26	Nov 9, 2017	Nov 1, 2017	NEW CITY, NY	Firm change

Relationships

Registered with (4)

→ O•••• W•••••• I•••Registered adviserregistration: previous registration
Mar 15, 2007 to Jan 29, 2009factForm ADV
→ S••••••••• A•••••• A•••••••• I•••Registered adviserregistration: previous registration
Nov 1, 2017 to Jun 14, 2024factForm ADV
→ N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••Registered adviserregistration: previous registration
Jun 15, 2016 to Nov 9, 2017factForm ADV
→ K•• G•••• M••••••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e2541897-0d3b-727e-7f34-6d93e9429297
First observed: Mar 15, 2007
Last observed: Sep 14, 2026 8 days ago
Source families: Federal regulator filings
1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.